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News January 16, 2017 Issue

Private Fund Adviser Charged with Failure to Disclose Conflicted Transactions

The SECís enforcement activities against private fund advisers apparently are not limited to those that registered with the agency. Consider the case of Chicago-based Augustine Capital Management, which, along with two of its three owners, was recently charged by the SEC with a myriad of allegations, including failure to disclose conflicted transactions to investors.

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